Licensed Financial Advisor Assistant​/Client Services Administrator

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Department: Advisory Team - Customer Service

Reports To: Advisor(s)

FLSA Status: Exempt

Employment Type: Full-Time

Salary Range: Commensurate with experience plus additional discretionary bonuses

Lucia Capital Group is an independent financial planning and investment firm headquartered in San Diego, CA with satellite offices nationwide, including our Scottsdale, AZ location. Our mission is to help families achieve their financial goals by providing holistic financial planning, a research-based retirement income strategy called The Bucket Strategy®, a diversified investment management platform of advisory, brokerage, and annuity/insurance solutions, delivered by experienced CFP® professionals and financial advisors.

LPL Financial serves as our RIA, Broker Dealer, and primary custodian.

We take pride in being a family business, treating both our clients and our team as an extension of the Lucia family.

If you’re looking to join a team that puts clients first, values knowledge and continuous improvement, and is committed to making a meaningful impact, we invite you to experience the Lucia Capital Group difference.

As a Licensed Client Services Administrator, you will play a pivotal role in supporting advisors and ensuring exceptional client service for our branch office. You’ll act as an extension of the advisors you work with by accurately implementing tasks associated with the advisors’ recommendations and you’ll be the go-to resource for daily client customer service requests via phone and email.

• Provide outstanding support to advisors and customer service to clients via phone, email, and in-person interactions
• Open the office and ensure it is ready to receive clients when meetings are scheduled, greet clients, get to know the clients and let them know you are here to help.
• Work independently and effectively to review, maintain, update, and follow up to completion your list of CRM tasks related to implementing advisor recommendations or customer service requests.
• Accurately prepare paperwork (mostly electronic these days) for new accounts, transfers, account updates like address changes and beneficiary changes, distribution requests, and more.
• Execute tasks, place trades, run reports within LPL Client Works and other investment/annuity provider sites so support our clients and manage the business.
• Answer inbound calls to resolve customer service requests, schedule advisor meetings.
• Make outbound phone calls to schedule client review meetings, follow up on service requests, update clients re: request status.
• Log all client interactions/activities in CRM
• Prepare and gather Orion reports, spreadsheets, and statements to ensure the advisor is fully prepared for client review meetings.
• Handle confidential and/or sensitive information responsibly
• Maintain administrative functions of the office such as checking mail, submitting correspondence for supervisory review, scanning, filing, ordering office supplies, etc.
• Participate in ongoing training and development
• Perform other duties as assigned

• Positive, can-do attitude with excellent customer service skills
• Detail-oriented and highly organized
• Self-starter who thrives in a team environment
• Strong verbal and written communication abilities

• Series 7, Series 66, (or 63 & 65) with a “clean U4” (or able to obtain with 90 days)
• At least two (2) years of financial services experience
• Proficient with Microsoft Office/ Microsoft 365 (e.g., Outlook, Excel, Word, etc.)
• Experience using CRM systems (e.g., Microsoft Dynamics, Salesforce, Wealthbox, etc.) to update client information, track and follow up on tasks, log activities, etc.
• Experience performing advisory account/brokerage account operations in custodian account/trading platforms (e.g., LPL Client Works, Schwab, Fidelity, etc.)

• Experience with LPL Client Works
• Experience in a registered representative/advisor office environment

Compensation for this position will be commensurate with experience plus discretionary bonuses. Benefits include medical, dental,…